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David Thetford

Principal Analyst

David Thetford joined Wolters Kluwer Financial Services in
December, 2006 as the firm’s securities compliance principal analyst. He serves
as the firm’s subject matter expert in securities. He is also Editor in Chief of
Practical Compliance and Risk Management for the Securities Industry, a
professional journal for compliance managers and risk managers in the securities
industry, and their counsel.

Prior to joining Wolters Kluwer
Financial Services, he was Chief Compliance Officer at Advanced Equities, Inc.,
a dually registered full service broker-dealer specializing in private equity.
Thetford also served as a supervisor of examiners in the Chicago regional office
of Wachovia Securities, and as Branch Administrative Manager – Compliance in the
Chicago, Illinois office of Morgan Stanley, one of the top five producing
branches of Morgan Stanley.

Thetford began his compliance career in
2000 as a compliance examiner in the Chicago, Illinois office of the National
Association of Securities Dealers (NASD), now known as FINRA. Prior to his
position at NASD, he worked as a registered representative for Morgan Stanley
Dean Witter.

Thetford is a retired Commander in the U.S. Navy, and
has held various assignments of increasing authority and responsibility
including two commands as well as Director of Manpower, Personnel and Training
then as Chief Staff Officer on an admiral’s staff. He retired from the U.S.
Navy in 1998 prior to beginning his career in the securities
industry.

(Recorded May 21, 2015) Done. Check. You just completed your annual review to gauge the effectiveness of your supervisory system and confirm it is reasonably designed to detect violations and weaknesses in internal controls. Now what? Well, this is the perfect time to conduct a post mortem so that you can breathe new life into your next review. Join securities compliance experts, Matt Dwyer and Steve Taylor along with David Thetford as they delve into essential internal controls, compliance testing essentials and documentation procedures within the structure of a "real-world" practical compliance program.

(Published January 2015) Although we can’t predict exactly what will take place, Securities
compliance expert, David Thetford from Wolters Kluwer outlines the top 7
regulatory trends expected to impact your firm in 2015. Topic areas
include: Increased Focus on Technology; Capital Requirements;
Regulators’ Increasing Use of Discretionary Tools; Implementation of the
Volker Rule; Propagation of Rules across Jurisdictions and Sectors;
Fiduciary Duty; and The Republicans Take Control of Congress.

(Recorded November 12, 2014) Many financial organizations still manage risks—compliance, operational and financial—manually through various departments and operating entities throughout their organizations. Frequently this process is done using spreadsheets, e-mail and inconsistent risks and controls, leaving an organization open to unforeseen threats and potential catastrophes, but also unable to fully capitalize on risk. A GRC system seems like an obvious next step, but how do you know when you’re ready, and what features/functionality you should look for?

(Recorded October 17, 2013) This previously recorded webinar includes coverage of the most talked about topics with regard to regulatory compliance, such as the annual requirement, regulatory expectations, risk assessment, independent testing, AML audit, and industry take-aways and insights.